Search for: "Associated Asset Management LLC"
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10 Oct 2016, 3:34 am
This year’s program is no exception, with star-studded panels addressing the latest case law developments, LLC deadlock, nonprofit LLCs, structuring LLC board management, and others. [read post]
30 Sep 2016, 5:13 am
However, in the recent Chancery decision of inTEAM Associates, LLC v. [read post]
28 Sep 2016, 2:08 pm
As part of its settlement agreement with the SEC, Och-Ziff acknowledged that it expected to enter into a deferred prosecution agreement with the Justice Department in a parallel criminal proceeding, and its subsidiary OZ Africa Management GP LLC agreed to enter into a plea agreement. [read post]
28 Sep 2016, 9:36 am
[xii]What may be the single worst case of elder victimization presented in NASAA’s annual report was perpetrated by Sean Meadows, owner of a financial planning and asset management firm, Meadows Financial Group LLC (MFG). [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
27 Sep 2016, 6:44 am
The investment advisers, Advantage Investment Management, LLC (“AIM”) and Washington Wealth Management, LLC (“WWM”) failed to disclose receipt of revenue from third-party broker-dealers in the form of forgivable loans and the consequent conflicts of interest. [read post]
25 Sep 2016, 4:44 pm
Bank National Association v. [read post]
19 Sep 2016, 7:34 am
The Securities and Exchange Commission (SEC) announced that ICON Capital LLC, an entity that manages equipment leasing funds, agreed to settle charges that it caused four of its funds to report materially inaccurate financial results in their SEC filings and pay a $750,000 penalty. [read post]
19 Sep 2016, 7:34 am
The Securities and Exchange Commission (SEC) announced that ICON Capital LLC, an entity that manages equipment leasing funds, agreed to settle charges that it caused four of its funds to report materially inaccurate financial results in their SEC filings and pay a $750,000 penalty. [read post]
18 Sep 2016, 8:09 am
The investigation also includes Platinum Credit Holdings LLC, Platinum Credit Management LP, Platinum Partners Value Corp., and Platinum Management (NY) LLC. [read post]
1 Sep 2016, 7:56 am
He was barred from association with any FINRA member in any capacity. [read post]
31 Aug 2016, 6:00 am
The SEC entered into a $52.5 million settlement with four private equity fund advisers affiliated with Apollo Global Management LLC (collectively “Apollo”) arising out of insufficient disclosures and supervisory failures. [read post]
15 Aug 2016, 11:39 am
., Midland Funding, LLC, Midland Credit Management, Inc., Asset Acceptance Capital Corp., PRA, LLC, Porfolio Recovery Associates, Chase Bankcard Services, Santander Bank, N.A., Solomon & Solomon P.C., Westlake and Wilshire etc. can be found here on the CFPB site. [read post]
12 Aug 2016, 1:09 pm
A partnership agreement should be used to define critical issues about how profits and losses will be divided, firm management undertaken, and how the partnership will be dissolved. [read post]
3 Aug 2016, 11:52 am
General partners manage the enterprise and are personally liable for its debts. [read post]
3 Aug 2016, 11:51 am
General partners manage the enterprise and are personally liable for its debts. [read post]
22 Jul 2016, 11:01 am
This is the SEC’s latest effort to encourage proper risk management in the asset management industry and minimize any potential client harm from material service disruptions. [read post]
30 Jun 2016, 7:51 pm
Both the Corporate LLC and the Manager-Managed LLC are engaged in the real estate management business, “jointly manag[ing] over $1 billion in real estate assets. [read post]
16 Jun 2016, 2:48 pm
Galen Marsh. 30-year old Galen Marsh joined Morgan Stanley in 2008 as a sales assistant, later becoming a customer service associate and then in 2014 a financial advisor. [read post]
2 Jun 2016, 11:20 am
:Davis sold interests in two unregistered pooled investment vehicles named DCG Commercial Fund I LLC and DCG Real Assets LLC. [read post]
